Filing Details
- Accession Number:
- 0001225208-11-021864
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-16 17:14:54
- Reporting Period:
- 2011-09-16
- Filing Date:
- 2011-09-16
- Accepted Time:
- 2011-09-16 17:14:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 878520 | Sws Group Inc | SWS | Security Brokers, Dealers & Flotation Companies (6211) | 752040825 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1249599 | H Richard Litton | 1201 Elm Street Suite 3500 Dallas TX 75270 | Executive Vice President | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock $.10 Par Value | Acquisiton | 2011-09-16 | 6,000 | $5.83 | 83,443 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Billionaire Hedge Funds
